58204 Rulings
| Topic | Verdict | Judge / ADR | Case Name | Published / Result |
|---|---|---|---|---|
Securities |
||||
|
Securities
Securities Fraud
Verdict:
$3,000,000
|
$3,000,000
|
Burt Weston, on behalf of h... |
Feb. 8, 2014
Dec. 16, 2013 |
|
|
Securities
Negligence
Verdict:
$17,500,000
|
$17,500,000
|
In re Aqueous Film-Forming ... |
Apr. 30, 2021
Mar. 29, 2021 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Respondent |
Louis Saadeh, individually ... |
Dec. 20, 2014
May 21, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondents |
Roberta Lee Franklin, indiv... |
May 2, 2015
Mar. 30, 2015 |
|
|
Securities
Securities Exchange Act
Verdict:
$1,250,000
|
$1,250,000
|
Maritime Asset Management, ... |
Aug. 2, 2014
Jun. 7, 2014 |
|
|
Securities
Expungement |
Expungement | Elliott D. Finkel | Duncan Earl Rolph v. City N... |
May 3, 2019
Mar. 6, 2019 |
|
Securities
Constructive Discharge
Verdict:
$2,000,000
|
$2,000,000
|
Mark Henning, Roman Zaretsk... |
Jul. 21, 2012
Jun. 21, 2012 |
|
|
Securities
Unsuitability |
Dismissal | G.E. Craig Doupe | Dwight Jay Hansen IRA, Dwig... |
Feb. 2, 2018
Dec. 19, 2017 |
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Denied |
Dennis Rosenstock v. UBS Fi... |
Jan. 17, 2009
Dec. 17, 2008 |
|
|
Securities
Securities Exchange Act |
Dismissal | Gonzalo P. Curiel | LifeVoxel Virginia SPV LLC;... |
May 30, 2025
Dec. 31, 2024 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$80,000
|
$80,000
|
Daniel Hurley v. Northeast ... |
Jan. 17, 2009
Dec. 2, 2008 |
|
|
Securities
Securities Exchange Act |
Mixed Verdict | Andrew J. Guilford | Hsing Ching Hsu, individual... |
Mar. 22, 2019
Feb. 4, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$14,629
|
$14,629
|
Harold Edmonson v. First Mi... |
Apr. 5, 2014
Mar. 7, 2014 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$138,200
|
$138,200
|
Sterling Casualty Insurance... |
Jan. 24, 2009
Dec. 19, 2008 |
|
|
Securities
Negligence
Verdict:
-$1
|
-$1
Expungement |
Grimm v. E*Trade Securities... |
Mar. 9, 2013
Feb. 25, 2013 |
|
|
Securities
Expungement |
Claimant | Robert Z. Disman v. UBS Fin... |
Jan. 3, 2020
Nov. 6, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
$5,979
|
$5,979
|
Ishii Family Trust dated 12... |
May 2, 2015
Apr. 8, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$1,523,840
|
$1,523,840
|
Securities and Exchange Com... |
Apr. 23, 2011
Aug. 17, 2010 |
|
|
Securities
Suitability
Verdict:
-$1
|
-$1
Dismissal |
Donald Sehmel and Mary Sehm... |
Jun. 15, 2013
Jun. 3, 2013 |
|
|
Securities
Expungement
Verdict:
-$1
|
-$1
Denial |
Kevin Joseph Schaefer v. UB... |
Oct. 1, 2011
Jul. 14, 2011 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Defense |
Securities and Exchange Com... |
Aug. 9, 2014
Jun. 6, 2014 |
|
|
Securities
Securities Fraud |
Respondent | Steven H. Gentry | Christina Billington as Suc... |
May 3, 2019
Mar. 8, 2019 |
|
Securities
Breach of Fiduciary Duty
Verdict:
$350,000
|
$350,000
|
Joseph Simas, JoAnne Simas ... |
Jun. 26, 2010
Jun. 1, 2010 |
|
|
Securities
Breach of Contract
Verdict:
$191,694
|
$191,694
|
Betsy Van Hees v. Cowen & C... |
Oct. 30, 2010
Oct. 7, 2010 |
|
|
Securities
Securities Fraud |
Respondent | Theresa Taylor v. Interacti... |
Feb. 7, 2020
Oct. 31, 2019 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Respondent |
Ilyse Fern Klavir v. Banc o... |
Nov. 6, 2010
Oct. 13, 2010 |
|
|
Securities
Securities Fraud
Verdict:
-$1
|
-$1
Dismissal |
In Re Vical Incorporated Se... |
May 9, 2015
Mar. 9, 2015 |
|
|
Securities
Securities Fraud
Verdict:
$16,787,028
|
$16,787,028
|
Christina A. Snyder | Federal Trade Commission v.... |
Jul. 25, 2025
May 6, 2025 |
|
Securities
Commodities
Verdict:
$624,000,000
|
$624,000,000
|
In re Countrywide Financial... |
Aug. 12, 2010
Jul. 31, 2010 |
|
|
Securities
Breach of Fiduciary Duty
Verdict:
-$1
|
-$1
Dismissal |
Brocade Communications Syst... |
Jan. 17, 2009
Dec. 12, 2008 |